Version-Sep.2016

Instructions for filling up and completing the account opening documentsTrading and Demat Account opening form for individuals/ /Proprietorship firm is enclosed..

1. Please fill all information in CAPITAL LETTERS2. Please ensure that the form is properly filled up, attached with copies of the required documents and complete in all aspects.3. Pin Code and Phone Number is mandatory4. Email ID must be provided for issuing Electronic Statements5. Copy of documentary evidence for the identity and address of the introducer is mandatory 6. Please initial wherever over writing is done7. Please affix full signature wherever an X mark is found 8. Trading Account cannot be opened in joint names. In case of demat a/c where joint holders are existing, trading a/c should be opened in

First holders name.9. Original documents are to be produced for verification at the time of submission of form10. If correspondence & permanent address are different, then proofs for both have to be submitted. 11. For non-residents and foreign nationals, (allowed to trade subject to RBI and FEMA guidelines), copy of passport/PIO Card/OCI Card

and overseas address proof is mandatory.

Please provide the self attested copy of the below listed documents

Sl. No. Documents to be provided Status of Submission

A PAN Card PAN card with photograph. (Also used as Proof of Identity) Yes No

B

1. Passport/Voters Identity Card/Ration Card/Registered Lease or Sale Agreement of Residence/Driving License/Flat Maintenance bill/Insurance Copy

Yes No

Proof of Address (Any one document) Proof of address in the name of the spouse may be accepted

2. Utility bills like Telephone Bill (only land line), Electricity bill or Gas bill Not more than 3 months old.

3. Bank Account Statement/Passbook - Not more than 3 months old.

4. Proof of address issued by any of the following: Bank Managers of Scheduled Commercial Banks/Scheduled Co-Operative Bank/Multinational Foreign Banks/Gazetted Officer/Notary public/Elected representatives to the Legislative Assembly/Parliament/Documents issued by any Govt. or Statutory Authority.

5. Identity card/document with address, issued by any of the following: Central/State Government and its Departments, Statutory/Regulatory Authorities, Public Sector Undertakings, Scheduled Commercial Banks, Public Financial Institutions, Colleges affiliated to Universities and Professional Bodies such as ICAI, ICWAI, ICSI, Bar Council etc.,to their Members.

6. For FII/sub account, Power of Attorney given by FII/sub-account to the Custodians (which are duly notarized and/or apostiled or consularised) that gives the registered address should be taken.

Yes No

Yes No

Yes No

Yes No

Yes No

Additional document for Trading in Derivative Segment (FAO, Currency segment)

C Bank Proof

1. Cheque leaf containing name of the client or cheque leaf (without name) along with bank stmt or copy of bank passbook along with cheque leaf (MICR Code should be clearly marked)

Yes No

2. Copy of Bank Passbook/ Bank transaction statement (Not more than 3 months old) Yes No

MINOR

Note: In case of joint holders for Demat A/c, use separate KYC (Part I) for each holder

a. Copy of ITR acknowledgementb. Copy of annual Accountsc. Net-worth Certificated. Bank account statement for last six months. e. Copy of DMAT holding statement f. In case of Salaried persons Latest Salary Slip and Form 16 copyg. Any other relevant documents substantiating ownership of assets. h. Self declaration along with relevant supporting.

a. All documents as per Common list for both Minor and his/her Guardian.b. Undertaking letter signed by the Guardian.c. Recent Passport size Photo of both Minor and Guardian

INCOME Proof ( Any one of the following may be considered are income proof)

Name of stock broker/trading member/clearing member/ depository participant: DBFS Securities Ltd.

SEBI Registration No. and date: INB231323230/INF231323230/INE231323230 (NSE), INB011323236(BSE)

INB 261323233/INF 261323233/INE261323230 , IN-DP-147-2015 (DP)(MSEI)

DPID-12032800 [DP with Central Depository Services (India) Ltd.]

Registered office address: Door No. 12, (New No.29), Burkit Road , Bridge-Port, T Nagar, Chennai - 600017

Ph: 044-2435 9253 Website: www.dbfsindia.com

Correspondence office address: III/947, Smart Centre, M K K Nair Road, Vazhakkala, Kochi-682021

Ph: 0484 3060000 Fax: 0484 3060268 e-mail: ho@dbfsindia.com, dp@dbfsindia.com, Website: www.dbfsindia.com

Compliance officer name, Phone No. & e-mail id: Mr. Johnkutty James, 0484 3060107, johnk@dbfsindia.com

CEO name, Phone No. & e-mail id: Mr. Prince George, 0484 3060000, prince@dbfsindia.com

For any grievance/dispute please contact DBFS Securities Ltd. at the above address or e-mail id- grievance@dbfsindia.com and

Ph: 0484 3060000. In case not satisfied with the response, please contact the NSE at ignse@nse.co.in and Ph: 022 26598190,

BSE at is@bseindia.com and Ph: 022 22728517, MSEI at investorcomplaints@msei.in and Ph: 022 61129028

INDEX

Name of theDocument

Brief Significance of the Document

Page No

To be signed by

Number of Signatures

PART I KYC Form KYC form for Individual (Trading and Demat A/c Combined)

1

2

1st Holder (Separate form to be used for each holders)

MANDATORY DOCUMENTS AS PRESCRIBED BY SEBI & EXCHANGES

Branch In-Charge

2

1

PART IlTrading Account Related Details

Document captures the additional information about the constituent relevant to trading account

5 1st Holder 2

PART IllDemat Account Related Details

Additional details required for opening Demat Account 11 All Holders 2

VOLUNTARY DOCUMENTS AS PROVIDED BY THE COMPANY

Voluntary Documents Consent to receive the Contract Notes and Account Statement by Email

Running Account Authorisation

Power of Attorney For Demat Account

3

4

1st Holder

1st Holder

5

1

1

2

Additional Terms 1 1st Holder 1

Tariff Sheet 10 1st Holder 1

All Holders

Significant Policies & Procedures 7 1st Holder 1

- 1 -

X1

PART - l

- 2 -

X2

X

CENTRAL KYC REGISTRY / KNOW Your Customer (KYC) Application From / Individual / Related Person

CENTRAL KYC REGISTRY / KNOW Your Customer (KYC) Application From / Individual / Correspondence / Local Address

X

X

- 3 -

(If Applicable)

(If Applicable)

- 4 -

Clarification / Guidelines on filling ‘Proof of Address [PoA]- Correspondance / Local Address details’ section

To be lled only in case the PoA is not the local address or address where the customer is currently residing. No separate PoA is required to be submittes.In case of multiple correspondence / local addresses, Please fill ‘Annexure A1’

Clarification / Guidelines on filling ‘Contact details’ sectionPlease mention two- digit country code and 10 digit mobile number (e.g. for Indian mobile number mention 91-9999999999).Do not add ‘0’ in the beginging of Mobile number.

Clarification / Guidelines on filling ‘ Related person details - proof of Identity (Pol) of Related Person’ section

General Instructions:

123456

78

9

Fields marked with ‘*’ are mandatory elds.Tick ‘’wherever applicable.Self-Certication of documents is mandatory.Please ll the form in English and in BLOCK Letters.Please ll all dates in DD-MM-YYYY format.Wherever state code and country code is to be furnished, the same should be the two-digit code as per Indian Motor Vehicle, 1988 and ISO 3166 country code respectively list of which is available at the end.KYC number of applicant is mandatory for updation of KYC details.For particular section update, please tick( )in the box available before the section number and strike of the sections not required to be updated.In case of ‘Small Account type’ only personal details at section number 1 and 2, photograph, signature and self-certication required.

A

Clarification / Guidelines on filling ‘personal details’ section

1

2

Name: Please state the name with Prex (Mr/Mrs/Ms/Dr/etc.).The name should match the name as mentioned in the Proof of Identity submitted failing which the application is liable to be rejected.Either father’s name or spouse’s name is to be mandatorily furnished. In case PAN is not available father’s name is mandatory.

Tax identification Number (TIN): TIN need not be reported if it has not been issued by the jurisdiction. However, if the said jurisdiction has issued a high integrity number with an equivalent level ofidentication (a “functional equivalent”), the same may be reported. Examples of that type of number for individual include, a social security/insurance number, citizen/personal identication/services code/number, and resident registration number)

C

123

If driving license number or passport is provided as proof of identity then expiry date is to be mandatorily furnished.Mention identication / reference number if ‘Z- Others(any document notied by the central government)’ is ticked.

In case of Simplified Measures Accounts for verifying the identity of the applicant, any one of the following documents can also be submitted and undernoted relevant code may be mentioned in point 3(S).

Document Code Description 01 Identity card with applicant’s photograph issued by Central/ State Government Departments, Statutory/ Regulatory

Authorities, Public Sector Undertakings, Scheduled Commercial Banks, and public Financial Institutions.Letter issued by a gazetted officer, with a duly attested photograph of the person02

D

123

PoA to be submitted only if the submitted Pol does not have an address or address as per Pol is invalid or not in force.State / U.T Code and Pin / Post Code will not be mandatory for Overseas addresses.In case of Simplified Measures Accounts for verifying the address of the applicant, any one of the following documents can also be submitted and undernoted relevant code may br mentioned in point 4.1.

Document Code Description

Utility bill which is not more than two months old of any service provider (electricity, telephone,post-paid mobile phone , piped gas, water bill).Property or Municipal Tax receipt.Bank account or Post Office savings bank account statement.Pension or family pension payment orders (PPOs) issued to retired employees by Government Departments or Public Sector Undertakings, if they contain the address.Letter of allotment of accommodation from employer issued by State or Central Government departments, statutory or regulatory bodies, public sector undertakings, scheduled commercial banks, financial institutions and listed companies. Similarly, leave and license agreements with such employers allotting official accommodation.Documents issued by Government departments of foreign jurisdictions and letter issued by Foreign Embassy or Mission in India.

E 1

2

Provide KYC number of related person if available.

Mention identification / reference number if ‘Z- Others (any document notified by the central government)’ is ticked.

Clarification / Guidelines on filling details if applicant residence for tax purposes in jurisdiction(s) outside India

Clarification / Guidelines on filling ‘Proof of Identity [PoI]’ section

B

1

Clarification / Guidelines on filling ‘Proof of Address [PoA]- Current / permanent / Overseas Address details’ section

Clarification / Guidelines on filling ‘ Related person details’ section

01 020304

05

06

F

12

G

H1

1

CENTRAL KYC REGISTRY | Instructions / Checklist / Guidelines for / ling Individual KYC Application Form

C. DEPOSITORY ACCOUNT(S) DETAILS

Depository Participant Name

Depository Name (NSDL/CDSL)

Beneficiary name DP ID Beneficiary ID (BO ID)

D. TRADING PREFERENCES

*Please sign in the relevant boxes where you wish to trade. The segment not chosen should be struck off by the client.

Exchanges / Segments

NSE Cash

BSE Cash

E. DETAILS OF PAST ACTIONS

Details of any action/proceedings initiated/pending/ taken by SEBI/ Stock exchange/any other authority against the

applicant/constituent or its Partners/promoters/whole time directors/authorized persons in charge of dealing in securities

during the last 3 years: ……………………………………………………………

F. DEALINGS THROUGH OTHER STOCK BROKERS

Whether dealing with any other stock broker/sub-broker (in case dealing with multiple stock brokers/sub-brokers, providedetails of all)

Name of stock broker: Name of Sub-Broker,

if any

Client Code: Exchange: Details of disputes/dues pending from/to such stock broker/sub-broker:

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TRADING ACCOUNT RELATED DETAILS

B. BANK ACCOUNT(S) DETAILS Bank Name*

Branch Address & Pin Code Bank Account No.* A/c Type* 9 Digit MICR

Code No.

Whether online payout facility opted

PART - ll

Yes No□ □

IFSC Code

A. INCOME, OCCUPATION & OTHER DETAILS

1. Gross Annual income Details (Please tick ( ) : Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac >25 Lac

dd m m y y y yNet-worth in (* Net worth shoul not be older than I year) as on (date)

Private Sector Service Pubic sector Government Service Business Professional Agriculturist RetiredHouse Wife Student Forex Dealer Other (Please specify

2. Ocupation (Please tick ( ) :any on eand give brief details):

3. Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

for definition of PEP, please refer guideline overleaf

4. Any other Information :

OR

NSE F A O

NSE CurrencyX3

X3

X3

X3

G. ADDITIONAL DETAILS

Whether you wish to receive Electronic Contract Note (ECN) or physical contract note

(PCN), please specify

Specify your Email id,

to which ECN and digital statements to be sent, if applicable

Witness for nomination (Only applicable in case the client has made nomination) First Witness Second Witness

Name of Witness

Signature of Witness

Address of witness

Place:……………………………….. Date: …………………………………

H. NOMINATION DETAILS

□ I/We do not wish to nominate any one for this trading account □ I/We wish to nominate the following person who is entitled to receive amount/securities outstanding in my/ our account, in

the event of my death ( Incase of Nomination, all the following details are mandatory )

Name of the Nominee Date of Birth of Nominee D D M M Y Y Y Y

Address and Phone No. ofNominee

Relationship with Client PAN No of Nominee As the nominee is minor on this date, I/We appoint the following person to receive the amount/ securities in this account on behalf of the nominee in the event of my death

Name of Guardian Relationship with Nominee

Address and Phone No. ofGuardian Signature of guardian

I. INTRODUCER DETAILS

Name

Father's Name

Address and Phone No.

Relationship with Applicant PAN No of Introducer

Relationship with TM □ BC □ Remisier □ Authorized Person □ Existing Client

ID details

Signature

□ Others, please specify…………………

Whether you wish to receive SMS from the company □ Yes □ No

Specify your Mobile Number, if applicable Whether you wish to avail of the facility of internet trading/ wireless technology : □ Yes □ No Number of years of Investment/Trading Experience:

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J. OPTION FOR RECEIPT OF STANDARD DOCUMENTS LISTED BELOW (please tick any one)

1. Rights and Obligations of Stock Brokers, Sub-brokers and Clients2. Risk Disclosure Documents for capital Market and Derivative segments3. Guidance Note-Dos and Don'ts for investors4. Basic information about AML measures

� Physical � Electronic(Where receipt of physical document is opted client acknowledges receipt of the same in physical form as a copy of the document has been given to the client)

X4

FOR USE AT HEAD OFFICE

Date:_______________ DBFS Securities Ltd. (Seal)

I / We undertake that we have made the client aware of 'Policy and Procedures', tariff sheet and all the non-mandatory documents. I/We have also made the client aware of 'Rights and Obligations' document (s), RDD and Guidance Note. I/We have given/sent him a copy of all the KYC documents. I/We undertake that any change in the 'Policy and Procedures', tariff sheet and all the non-mandatory documents would be duly intimated to the clients. I/We also undertake that any change in the 'Rights and Obligations' and RDD would be made available on my/our website, if any, for the information of the clients.

________________________________ Signature of the Authorised Signatory

DECLARATION

Place:_____________

Date:_____________

1. I/We hereby declare that the details furnished above are true and correct to the best of my/our knowledge and belief and I/we

undertake to inform you of any changes therein, immediately. In case any of the above information is found to be false or untrue or misleading or misrepresenting, I am/we are aware that I/we may be held liable for it.

2. I/We confirm having read/been explained and understood the contents of the document on policy and procedures of the stock broker and the tariff sheet.

3. I/We further confirm having read and understood the contents of the ‘Rights and Obligations’ document(s) (including additional terms as described in Part IV) and ‘Risk Disclosure Document’ (Part IV). I/We do hereby agree to be bound by such provisions as outlined in these documents. I/We have also been informed that the standard set of documents has been displayed for Information on stock broker’s designated website, www.dbfsindia.com .

Signature of Client/ First Holder(___________________________)

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a) Policy for Penny Stock

A stock that trades at a relatively low price and market capitalization. These types of stocks are generally considered to be highly speculative and high risk because of their lack of liquidity, large bid-ask spreads, small capitalization and limited following and disclosure. Depend on the market condition and RMS policy of the company RMS reserve the right to refuse to provide the limit in Penny stocks and losses if any on account of such refusal shall be borne by client only.

b) Setting up client's exposure limits DBFS Securities Ltd. (Stock broker) may from time to time

impose and vary limits on the orders that the client can place through the stock broker's trading system (including exposure limits, turnover limits, limits as to the number, value and/or kind of securities in respect of which orders can be placed etc.). The client is aware and agrees that the stock broker may need to vary or reduce the limits or impose new limits urgently on the basis of the stock broker's risk perception and other factors considered relevant by the stock broker including but not limited to limits on account of exchange/SEBI directions/limits (such

as broker level/market level limits in security specific/volume specific exposures etc.), and the stock broker may be unable to inform the client of such variation, reduction or imposition in advance. The client agrees that the stock broker shall not be responsible for such variation, reduction or imposition or the client's inability to route any order through the stock broker's trading system on account of any such variation, reduction or imposition of limits. The client further agrees that the stock broker may at any time, at its sole discretion and without prior notice, prohibit or restrict the client's ability to place orders or trade in securities through the stock broker, or it may subject any order placed by the client to a review before its entry into the trading systems any may refuse to execute/allow execution of

eorders due to but not ) limited to the reason of lack of margin/securities or the order being outside the limits set by stock broker/exchange/SEBI and any other reasons which the stock broker may deem appropriate in the circumstances. The client agrees that the losses, if any on account of such refusal or due to delay caused by such review, shall be borne exclusively by the client alone.

We have margin based RMS system. Total deposits of the

SIGNIFICANT POLICIES AND PROCEDURES

clients are uploaded in the system and client may take exposure on the basis of margin applicable for respective security as per VAR based margining system of the stock exchange and/or margin defined by RMS based on their risk perception. Client may take benefit of "credit for sale" i.e. benefit of share held as margin by selling the same by selecting Delivery option through order entry window on the trading platform, the value of share sold will be added with the value of deposit and on the basis of that client may take fresh exposure.

In case of exposure taken on the basis of shares margin the payment is required to be made before the exchange pay in date otherwise it will be liable to square off after the pay in time or any time due to shortage of margin.

c) Applicable brokerage rate: - Brokerage rates/ slabs are subject to periodic revision by the stock broker based on the trading pattern and other relevant considerations, but in any point of time the brokerage shall be within the limits prescribed by SEBI/Exchange.

d) Imposition of penalty /delayed payment charges Clients will be liable to pay late pay in/delayed payment

charges for not making payment of their payin/margin

obligation on time as per the exchange requirement

/schedule at the rate of 2% per month.

The client agrees that the stock broker may impose fines /

penalties for any orders / trades / deals / actions of the

client which are contrary to this agreement / rules /

regulations / bye laws of the exchange or any other law for

the time being in force, at such rates and in such form as it

may deem fit. Further where the stock broker has to pay

any fine or bear any punishment from any authority in

connection with / as a consequence of / in relation to any of

the orders / trades / deals / actions of the client, the same

shall be borne by the client.

e) The right to sell client's securities or close clients'

positions, without giving notice to the client, on

account of non-payment of client's dues

Without prejudice to the stock brokers other right (Including

the right to refer the matter to arbitration), the stock broker

shall be entitled to liquidate/close out all or any of the clients

position without giving notice to the client for non payment

of margins or other amounts including the pay in obligation,

outstanding debts etc and adjust the proceeds of such

liquidation/close out, if any, against the clients

liabilities/obligations.

The client shall ensure timely availability of funds/securities

in form and manner at designated time and in designated

bank and depository account(s), for meeting his/her/its pay

in obligation of funds and securities. Any and all losses and

financial charges on account of such liquidations/ closing

out shall be charged to & born by the client. In cases of

securities lying in margin account/client beneficiary account

and having corporate actions like Bonus, Stock split, Right

issue etc, for margin or other purpose the benefit of shares

due to received under Bonus, Stock split, Right issue etc will

be given when the shares is actually received in the stock

broker designated demat account

In case the payment of the margin / security is made by the

client through a bank instrument, the stock broker shall beat

liberty to give the benefit/credit for the same only on the

realization of the funds from the said bank instrument etc, at

the absolute discretion of the stock broker. Where the

margin / security is made available by way of securities the

stock broker is empowered to decline its acceptance as

margin / security &/or to accept it at such reduced value as

the stock broker may deem fit by applying haircuts or by

valuing it by marking it to market or by any other method as

the stock broker may deem fit in its absolute discretion.

The stock broker has the right but not the obligation, to cancel all pending orders and to sell/close/liquidate all open positions/ securities/ shares at the pre-defined square off time or when Mark to Market (M-T-M) percentage reaches or crosses stipulated margin percentage, whichever is earlier. The stock broker will have sole discretion to decide referred stipulated margin percentage depending upon the market condition. In the event of such square off, the client agrees to bear all the losses based on actual executed prices, the client shall also be solely liable for all and any penalties and charges levied by the exchange(s).

f) Shortages in obligations arising out of internal netting of trades

Stock broker shall not be obliged to deliver any securities or pay any money to the client unless and until the same has been received by the stock broker from the exchange, the clearing corporation / clearing house or other company or entity liable to make the payment and the client has fulfilled his/her/its obligations first.

The policy and procedure for settlement of shortages in obligations arising out of internal netting of trades is asunder:

a) The Short delivering client is debited by an amount equivalent to 20% above of closing rate of day prior to Payin/Payout Day. The securities delivered short are purchased from market on T+2 day and the purchase consideration (inclusive of all statutory taxes & levies) is debited to the short delivering seller client along with reversal entry of provisionally amount debited earlier.

b) If securities cannot be purchased from market due to any force majeure condition, the short delivering seller is debited at the closing rate on T+2 day or Auction day on Exchange +10% where the delivery is matched partially or fully at the Exchange Clearing, the delivery and

- 8 -

debits/credits shall be as per Exchange Debits and Credits.

c) In cases of securities having corporate actions all cases of short delivery of cum transactions which cannot be auctioned on cum basis or where the cum basis auctioned on cum basis or where the cum basis auction payout is after the book closure/record date, would be compulsory closed out at higher of 10% above the official closing price on the auction day or the highest traded price from first trading day of the settlement till the auction day.

g) Conditions under which a client may not be allowed to take further position or the broker may close the existing position of a client

We have margin based RMS system. Client may take exposure upto the amount of margin available with us. Client may not be allowed to take position in case of non-availability/shortage of margin as per our RMS policy of the company. The existing position of the client is also liable to square off/close out without giving notice due to shortage of margin/ non making of payment for their payin obligation/outstanding debts.

h) Temporarily suspending or closing a client's account at the client's request

On the request of the client in writing, the client account can be suspended temporarily and same can be activated on the written request of the client only. During the period client account is suspended, the market transaction in the client account will be prohibited. However client shares/ledger balance settlement can take place.

On the request of the client in writing, the client account can be closed provided the client account is settled. If the client wants to reopen the account in that case client has to again complete the KYC requirement.

I Deregistering a client:- Notwithstanding anything to the contrary stated in the agreement, the stock broker shall be entitled to terminate the agreement with immediate effect in any of the following circumstances:

(Iif the action of the client are prima facie illegal / improper or such as to manipulate the price of any securities or disturb the normal/proper functioning of securities or disturb the normal/properfunctioningof the market, either alone or in conjunction with others.

(ii) If there is any commencement of a legal process against the client under any law in force;

(iii) On the death/lunacy or other disability of the Client;

(iv) If the client being a partnership firm, has any steps taken by the Client and/or its partners for dissolution of the partnership;

(v) If the Client suffers any adverse material change in his/her/its financial position or defaults in any other agreement with the Stockbroker;

(vi) If there is reasonable apprehension that the Client is unable to pay its debts or the Client has admitted its inability to pay its debts, as they become payable;

(vii) If the Client is in breach of any term, condition or covenant of this Agreement;

(viii) If the Client has made any material misrepresentation of facts, including (without limitation) in relation to the Security;

(ix) If a receiver, administrator or liquidator has been appointed or allowed to be appointed of all or any part of the undertaking of the Client;

(x) If the Client have taken or suffered to be taken any action for its reorganization, liquidation or dissolution;

(xi) If the Client has voluntarily or compulsorily become the subject of proceedings under any bankruptcy or insolvency law or being a company, goes into liquidation or has a receiver appointed in respect of its assets or refers itself to the Board for Industrial and Financial Reconstruction or under any other law providing protection as a relief undertaking;

(xii) If any covenant or warranty of the Client is incorrect or untrue in any material respect;

J. Inactive Client account: - Client account will be considered as inactive if a customer has not made any transaction for the last 12 months and there is no holding both in DP as well as pool account, provided the account is older than one year. Classification of inactive account will be done periodically. Inactive accounts will be suspended in the Trading Front End and will not be available for order entry. Such accounts can be reactivated only after receiving specific request from the client.

Acceptance of Policies and Procedures stated hereinabove:

I/We have fully understood the same and do hereby sign the same and agree not to call into question the validity, enforceability and applicability of any provision/clauses this document any circumstances what so ever. These Policies and Procedures may be amended / changed unilaterally by the broker, provided the change is informed to me / us with through any one or more means or methods. I/we agree never to challenge the same on any grounds including delayed receipt / non receipt or any other reasons whatsoever. These Policies and Procedures shall always be read along with the Rights and Obligations Document and shall be compulsorily referred to while deciding any dispute / difference or claim between me / us and stock broker before any court of law / judicial / adjudicating authority including arbitrator/mediator etc.

X5

- 9 -

- 10 -

CM-Intraday

CM-Delivery

Equity Futures

Equity Options

Currency Futures

Currency Options

Fixed Slab Per Contract Slab Volume Slab

% Min. Ps Slab No. Rate per lot

Slab No.% / rate

L1 L2 L3Slab No.

Brokerage Slab

Account Categories and Rates

Choice of Account � Regular � Regular Plus � Premium

Particulars

Account Opening Charges

Initial Pay-in

Demat Account AMC

Stamp Charges

Regular Regular Plus Premium

NIL

Rs.500/-

Actuals

Actual, if any

NIL

Rs.10,000/-

AMC waiver for 2 years

Actual, if any

Rs.2000/-

NIL

Lifetime waiver of AMC

NIL

In addition to the above, the following statutory charges will also be levied at actual:

A. Securities Transaction Tax B. Transaction Charges C. Service Tax D. Stamp Duty E. Education and Higher Education Cess

F. SEBI Turnover Fees G. Any other charges as may be imposed by the Exchanges/ SEBI/ Government Authorities, from time to time.

Fees and other charges associated with Demat account shall be charged separately as per Part III G.

Postage and other incidental expenses incurred shall be debited to the account.

Client's Name Client's Signature Date:X6

Statutory/ Other Charges

SCHEDULE OF CHARGES

DBFS Securities Ltd., III/947, Smart Centre, M K K Nair Road, Vazhakkala-682021

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Status Sub-status

□ Individual □ Individual Resident

□ Individual Director’s Relative

□ Individual Promoter

□ Individual Margin Trading A/c (MANTRA)

□ Individual Director

□ Individual HUF/AOP

□ Others (specify)

□ NRI

□ NRI Repatriable

□ NRI Repatriable Promoter

□ NRI Depository receipts

□ NRI Non-Repatriable

□ NRI Non-Repatriable Promoter

□ Others (specify)

□ Foreign National

□ Foreign National □ Foreign National-Depository Receipts □ Others (specify)

C. ACCOUNT TYPE (Please tick whichever is applicable)

PART - lll

ADDITIONAL DETAILS FOR OPENING DEMAT A/C

A. BANK ACCOUNT(S) DETAILS (Bank A/c to which dividend, refund order etc. to be credited)

Bank Name* Branch Address & Pin Code Bank Account No.*

PAN

PAN

PAN

Sole/ First Holders’ Name

Second Holders’ Name

Third Holders' Name

Holders Details

Name*

* In case of Firms, Association of Persons (AOP), Partnership Firm, Unregistered Trust etc., although the account is opened in the name of the natural persons, the name of the firm, Association of Persons (AOP), Partnership Firm, Unregistered Trust etc., should be mentioned above

A/c Type*

IFSC Code

9 Digit MICR Code No.

B. INCOME, OCCUPATION & OTHER DETAILS

1. Gross Annual income Details (Please tick ( ) : Below 1 Lac 1-5 Lac 5-10 Lac 10-25 Lac >25 Lac

dd m m y y y yNet-worth in (* Net worth shoul not be older than I year) as on (date)

Private Sector Service Pubic sector Government Service Business Professional Agriculturist RetiredHouse Wife Student Forex Dealer Other (Please specify

2. Ocupation (Please tick ( ) :any on eand give brief details):

3. Please tick, if applicable: Politically Exposed Person Related to a Politically Exposed Person

for definition of PEP, please refer guideline overleaf

4. Any other Information :

OR

D. STANDING INSTRUCTIONSI/We authorise you to receive each & every creditsin my/our account without any instruction fromme/us. (Automatic Credit)

□

Yes □

No

Account Statement Requirement

□ Daily □ Weekly □ Fortnightly □ Monthly

Do you wish to receive dividend/interest directly toyour bank account given herein through ECS?

□ Yes □ No

SMS alert Facility □ Yes ( Mobile No______________________________ ) □ No

easi □ Yes ( Facility through CDSL website www.cdslindia.com □ No

I/We request you to send Electronic transaction Cum holding statement at Sole /First holders E-mail ID stated in the Account Opening Form or at ______________________________________

□ Yes □ No

□As Per SEBI Regulation

I/ we would like to instruct the DP to accept all the pledge instructions in my/our account without any other further instructions from my/our end (if not marked , the default option would be ‘No”

I/ we would like to share the E-mail ID with the RTA

□ Yes □ No

I/ we would like to receive the Annual Report (Tick the applicable box. if not marked the default option would be in Physical)

□ Yes □ No

□ Physical Electronic

Both physical and Electronic

□□

Transaction Using Secured Texting Facility (TRUST).

I wish to avail the TRUST facility using the Mobile number registeredfor SMS Alert Facility. I have read and understood the terms andconditions prescribed by CDSL. for the same □ Yes □ No

Refer to Terms and Conditions Annexure - 2.6

I/we wish to register the following clearing member IDS under my/our below mentioned BoO ID registered for TRUST

Stock Exchange Name/ ID Clearing Member Name Clearing Member ID (Optional)

E. NOMINATION FORM □

I/We do not wish to nominate any one for this demat account

□of of the death

I/We wish to nominate the following person who is entitled to receive securities outstanding in my/ our account, in the event sole holder of death of all joint holders

Relationship with Client /BO PAN No of Nominee

Name of Guardian

Relationship with Nominee

Address and Phone No. ofGuardian

Signature of guardian

Name of the Nominee Date of Birth of Nominee D D M M Y Y Y Y

Address and Phone No. of Nominee

As the nominee is minor on this date, I/We appoint the following person to receive the securities in this account on behalf of thenominee in the event of the death of sole holder of death of all joint holders

Place:____________________ Date:____________________

Option for issue of DIS Booklet (please tick any one)Option 1 � I/ We wish to receive the Delivery Instruction Slip (DIS) booklet with account opening.

Option 2 � I/ We do not wish to receive the DIS Booklet with account opening since I/ We have issued POA in favour of DBFS Securities Ltd. However, the DIS booklet should be issued to me/ us immediately on my request at any later date.

Option for receipt of Rights and Obligations of Benecial Owners and Depository Participants

� Physical � Electronic(Where receipt of physical document is opted, client acknowledges receipt of the same in physical form as a copy of the document has been given to the client)

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X7 X X

First/ Sole Holder Second Holder Third Holder

Name

Signature *

* also to be captured as Specimen Signature Signature of the Authorised Signatory

Date:_______________ DBFS Securities Ltd. (Seal)

WITNESSES (Only applicable in case the account holder has made nomination)

For Office Use

Nomination accepted Vide Registration No dated

First Witness Second Witness

Name of Witness

Signature of Witness Address of witness

G. RATES AND CHARGES FOR DEMAT ACCOUNT

A/c Opening Nil Inter Depository Rs.50/- per transaction

A/c Closing Nil Demat Rs.25/- per DRFAnnual Maintenance Charges* Rs.100/- per Annum Remat Rs.25/- per RRF

Market Trades with in DBFS Rs.30/- per transaction for BSDA clientsRs.18/- per transaction for Non BSDA clients

Pledge and Un Pledge

Rs.25/- per request

Off Market Transaction

Rs.50/- per transaction

Statutory charges

Cost of stamp paper, Service Tax as applicable at the prevailing rate

CorrespondenceAddress:

City/town/village Pincode State Country

Contact Details (Ifavailable)

Tel (Off) STD Code Number Tel (Res) STD Code Number

Mob.No. Email ID

Name of Guardian:

First name Middle Name Last Name

Relationship with Applicant First name Middle Name Last Name

PAN No. of Guardian: Email:

F. DETAILS OF GUARDIAN IN CASE OF MINOR

* BSDA (Basic Service Demat Account) are available on Demand

H. NRI DECLARATIONS (for NRI clients only)1. Declaration regarding my/our residential address in abroad

I/we ___________________________________ hereby declare that I/we am/are residing at_______________________

________________________________________________________________________________________________

Further I/We hereby undertake that any change in the residential address shall be informed to the DP, immediately.

I/We have read the terms and conditions in rights and obligations and agree to abide by and be bound by the same and by the Bye Laws as are in force from time to time. I/ We declare that the particulars given by me/us above are true and correct to the best of my/ our knowledge as on the date of making this application. I/we agree and undertake to intimate the DP any change(s) in the details/ particulars mentioned by me/ us in this form. I/We further agree that any false/ misleading information given by me/ us or suppression of any material information will render my account liable for termination and suitable action.

2. FEMA Declaration

I/We have complied with, and will continue to comply with, FEMA regulations and other applicable laws.

DECLARATION

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DBFS Securities LimitedReg. Off.: III/947, Smart Centre, M K K Nair Road, Vazhakkala, Kochi - 682 021

Ph: 0484 3060000, Fax: 0484 3060268 Email: ho@dbfsindia.com,

Website: www.dbfsindia.com